PRESIDENT AND CHIEF COMPLIANCE OFFICER

0001951757-23-000295.txt : 20230512 0001951757-23-000295.hdr.sgml : 20230512 20230511173440 ACCESSION NUMBER: 0001951757-23-000295 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230331 FILED AS OF DATE: 20230512 DATE AS OF CHANGE: 20230511 EFFECTIVENESS DATE: 20230512 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Balboa Wealth Partners CENTRAL INDEX KEY: 0001929008 IRS NUMBER: 810694237 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-22715 FILM NUMBER: 23912395 BUSINESS ADDRESS: STREET 1: 140 NEWPORT CENTER DR STREET 2: SUITE 200 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 BUSINESS PHONE: 9494451465 MAIL ADDRESS: STREET 1: 140 NEWPORT CENTER DR STREET 2: SUITE 200 CITY: NEWPORT BEACH STATE: CA ZIP: 92660 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001929008 XXXXXXXX 03-31-2023 03-31-2023 Balboa Wealth Partners

140 NEWPORT CENTER DR SUITE 200 NEWPORT BEACH CA 92660

13F HOLDINGS REPORT 028-22715 N JEFFREY A. GILBERT PRESIDENT AND CHIEF COMPLIANCE OFFICER 949-445-1465 JEFFREY A. GILBERT SCOTTSDALE AZ 05-11-2023 1 298 264741143 false 1 Axxcess Wealth Management, LLC INFORMATION TABLE 2 F_13F_Balboa_Q12023.xml ABBOTT LABS COM 002824100 676177 6678 SH SOLE 0 0 6678 ADVANCED MICRO DEVICES INC COM 007903107 9466884 96591 SH SOLE 0 0 96591 ALBEMARLE CORP COM 012653101 1083317 4901 SH DFND 1.0 0 0 4901 AMAZON COM INC COM 023135106 6470395 62643 SH SOLE 0 0 62643 AMERICAN CENTY ETF TR EMERGING MKT VAL 025072372 282521 6618 SH SOLE 0 0 6618 AMERICAN CENTY ETF TR INTL SMCP VLU 025072802 323092 5525 SH SOLE 0 0 5525 AMERICAN CENTY ETF TR US SML CP VALU 025072877 704958 9519 SH SOLE 0 0 9519 AMERICAN EXPRESS CO COM 025816109 327541 1986 SH DFND 1.0 0 0 1986 APPLE INC COM 037833100 15065442 91361 SH DFND 1.0 0 0 91361 APTARGROUP INC COM 038336103 209551 1773 SH DFND 1.0 0 0 1773 ARISTA NETWORKS INC COM 040413106 294762 1756 SH DFND 1.0 0 0 1756 ATKORE INC COM 047649108 537476 3826 SH SOLE 0 0 3826 BP PLC SPONSORED ADR 055622104 969393 25551 SH DFND 1.0 0 0 25551 BANK AMERICA CORP COM 060505104 726268 25394 SH SOLE 0 0 25394 BERKSHIRE HATHAWAY INC DEL CL A 084670108 2793600 6 SH SOLE 0 0 6 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2834817 9181 SH SOLE 0 0 9181 BOEING CO COM 097023105 2926648 13777 SH DFND 1.0 0 0 13777 BRISTOL-MYERS SQUIBB CO COM 110122108 238704 3444 SH SOLE 0 0 3444 CVS HEALTH CORP COM 126650100 280531 3775 SH DFND 1.0 0 0 3775 CADENCE DESIGN SYSTEM INC COM 127387108 213662 1017 SH SOLE 0 0 1017 CANOPY GROWTH CORP COM 138035100 38701 22115 SH SOLE 0 0 22115 CATERPILLAR INC COM 149123101 313821 1371 SH DFND 1.0 0 0 1371 CHESAPEAKE ENERGY CORP COM 165167735 260721 3429 SH DFND 1.0 0 0 3429 CHEVRON CORP NEW COM 166764100 1141176 6994 SH SOLE 0 0 6994 COCA COLA CO COM 191216100 343878 5544 SH SOLE 0 0 5544 CONSOLIDATED EDISON INC COM 209115104 215003 2247 SH DFND 1.0 0 0 2247 DARLING INGREDIENTS INC COM 237266101 219701 3762 SH DFND 1.0 0 0 3762 DEERE & CO COM 244199105 285654 692 SH SOLE 0 0 692 DISNEY WALT CO COM 254687106 1178770 11772 SH SOLE 0 0 11772 FORD MTR CO DEL COM 345370860 435901 34595 SH SOLE 0 0 34595 GALLAGHER ARTHUR J & CO COM 363576109 439439 2297 SH DFND 1.0 0 0 2297 GILEAD SCIENCES INC COM 375558103 479625 5781 SH DFND 1.0 0 0 5781 HOME DEPOT INC COM 437076102 1069950 3625 SH DFND 1.0 0 0 3625 HUNTINGTON BANCSHARES INC COM 446150104 357437 31914 SH DFND 1.0 0 0 31914 ILLINOIS TOOL WKS INC COM 452308109 271639 1116 SH SOLE 0 0 1116 ILLUMINA INC COM 452327109 264642 1138 SH DFND 1.0 0 0 1138 INTEL CORP COM 458140100 490549 15015 SH DFND 1.0 0 0 15015 INTERNATIONAL BUSINESS MACHS COM 459200101 234300 1787 SH SOLE 0 0 1787 ISHARES INC INTL HIGH YIELD 464286210 276310 5987 SH SOLE 0 0 5987 ISHARES INC EM MKTS DIV ETF 464286319 212119 8644 SH SOLE 0 0 8644 ISHARES TR CORE S&P500 ETF 464287200 531572 1293 SH SOLE 0 0 1293 ISHARES TR S&P 500 VAL ETF 464287408 276530 1822 SH SOLE 0 0 1822 ISHARES TR 20 YR TR BD ETF 464287432 242949 2284 SH SOLE 0 0 2284 ISHARES TR RUS 1000 VAL ETF 464287598 418497 2749 SH SOLE 0 0 2749 ISHARES TR RUSSELL 2000 ETF 464287655 571647 3204 SH SOLE 0 0 3204 ISHARES TR U.S. REAL ES ETF 464287739 1201165 14148 SH SOLE 0 0 14148 ISHARES TR CORE S&P SCP ETF 464287804 395890 4094 SH SOLE 0 0 4094 ISHARES TR NATIONAL MUN ETF 464288414 223884 2078 SH SOLE 0 0 2078 ISHARES TR 10-20 YR TRS ETF 464288653 1110007 9691 SH SOLE 0 0 9691 ISHARES TR PFD AND INCM SEC 464288687 309484 9913 SH SOLE 0 0 9913 ISHARES TR MICRO-CAP ETF 464288869 829943 7941 SH SOLE 0 0 7941 JOHNSON & JOHNSON COM 478160104 1177717 7598 SH DFND 1.0 0 0 7598 LAM RESEARCH CORP COM 512807108 362602 684 SH DFND 1.0 0 0 684 LILLY ELI & CO COM 532457108 592866 1726 SH SOLE 0 0 1726 LOCKHEED MARTIN CORP COM 539830109 626753 1326 SH DFND 1.0 0 0 1326 LOOP INDS INC COM 543518104 195220 56750 SH SOLE 0 0 56750 LUMEN TECHNOLOGIES INC COM 550241103 34129 12879 SH SOLE 0 0 12879 MGM RESORTS INTERNATIONAL COM 552953101 242489 5459 SH DFND 1.0 0 0 5459 MARVELL TECHNOLOGY INC COM 573874104 450974 10415 SH DFND 1.0 0 0 10415 MCDONALDS CORP COM 580135101 844458 3020 SH SOLE 0 0 3020 MICROSOFT CORP COM 594918104 17173675 59569 SH DFND 1.0 0 0 59569 MICRON TECHNOLOGY INC COM 595112103 1249922 20715 SH DFND 1.0 0 0 20715 MILLER HOWARD HIGH INC EQTY COM SHS BEN IN 600379101 760845 75706 SH SOLE 0 0 75706 MOODYS CORP COM 615369105 294720 963 SH SOLE 0 0 963 NIKE INC CL B 654106103 259506 2116 SH SOLE 0 0 2116 NORTHROP GRUMMAN CORP COM 666807102 280537 608 SH DFND 1.0 0 0 608 NOVO-NORDISK A S ADR 670100205 216112 1358 SH SOLE 0 0 1358 ONEOK INC NEW COM 682680103 583234 9179 SH SOLE 0 0 9179 PALO ALTO NETWORKS INC COM 697435105 371117 1858 SH SOLE 0 0 1858 PEABODY ENERGY CORP COM 704551100 323814 12649 SH SOLE 0 0 12649 PEPSICO INC COM 713448108 527149 2892 SH SOLE 0 0 2892 PFIZER INC COM 717081103 847523 20773 SH DFND 1.0 0 0 20773 PHILIP MORRIS INTL INC COM 718172109 263743 2712 SH SOLE 0 0 2712 PROCTER AND GAMBLE CO COM 742718109 773094 5199 SH SOLE 0 0 5199 QUALCOMM INC COM 747525103 1011691 7930 SH SOLE 0 0 7930 ROBLOX CORP CL A 771049103 215904 4800 SH SOLE 0 0 4800 SCHWAB CHARLES CORP COM 808513105 1095463 20914 SH SOLE 0 0 20914 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 263568 5449 SH SOLE 0 0 5449 SCHWAB STRATEGIC TR 1000 INDEX ETF 808524722 259804 6569 SH SOLE 0 0 6569 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 943281 12893 SH SOLE 0 0 12893 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 489318 10431 SH SOLE 0 0 10431 SCHWAB STRATEGIC TR INT-TRM U.S TRES 808524854 411447 8159 SH SOLE 0 0 8159 SCHWAB STRATEGIC TR US TIPS ETF 808524870 364598 6801 SH SOLE 0 0 6801 SEMPRA COM 816851109 221601 1466 SH DFND 1.0 0 0 1466 SIMPSON MFG INC COM 829073105 369706 3372 SH SOLE 0 0 3372 SOUTHERN CO COM 842587107 661843 9512 SH SOLE 0 0 9512 STARBUCKS CORP COM 855244109 282422 2712 SH DFND 1.0 0 0 2712 STERLING INFRASTRUCTURE INC COM 859241101 562670 14854 SH DFND 1.0 0 0 14854 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 3052539 32816 SH SOLE 0 0 32816 TEXAS INSTRS INC COM 882508104 1561702 8396 SH SOLE 0 0 8396 THERMO FISHER SCIENTIFIC INC COM 883556102 434641 754 SH DFND 1.0 0 0 754 UNITED PARCEL SERVICE INC CL B 911312106 439990 2268 SH DFND 1.0 0 0 2268 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 519231 7033 SH SOLE 0 0 7033 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 200916 4448 SH SOLE 0 0 4448 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 792560 7512 SH SOLE 0 0 7512 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 461369 1227 SH SOLE 0 0 1227 VANGUARD INDEX FDS SMALL CP ETF 922908751 270502 1427 SH SOLE 0 0 1427 WALMART INC COM 931142103 459712 3118 SH DFND 1.0 0 0 3118 WYNN RESORTS LTD COM 983134107 352964 3154 SH DFND 1.0 0 0 3154 ZIONS BANCORPORATION N A COM 989701107 234951 7850 SH SOLE 0 0 7850 INVESCO QQQ TR UNIT SER 1 46090E103 2547198 7937 SH SOLE 0 0 7937 AT&T INC COM 00206R102 1615255 83909 SH DFND 1.0 0 0 83909 ABBVIE INC COM 00287Y109 1178640 7396 SH DFND 1.0 0 0 7396 ACTIVISION BLIZZARD INC COM 00507V109 346120 4044 SH DFND 1.0 0 0 4044 ADOBE SYSTEMS INCORPORATED COM 00724F101 2864435 7433 SH SOLE 0 0 7433 AFFIRM HLDGS INC COM CL A 00827B106 432295 38358 SH SOLE 0 0 38358 AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 26159 26000 PRN DFND 1.0 0 0 26000 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 532767 5214 SH SOLE 0 0 5214 ALPHABET INC CAP STK CL C 02079K107 5057000 48625 SH SOLE 0 0 48625 ALPHABET INC CAP STK CL A 02079K305 1299497 12528 SH SOLE 0 0 12528 ALTRIA GROUP INC COM 02209S103 281946 6319 SH DFND 1.0 0 0 6319 APPLIED OPTOELECTRONICS INC NOTE 5.000% 3/1 03823UAB8 16875 27000 PRN SOLE 0 0 27000 ARCH RESOURCES INC CL A 03940R107 211610 1610 SH SOLE 0 0 1610 ARES CAPITAL CORP COM 04010L103 627826 34354 SH DFND 1.0 0 0 34354 BIOMARIN PHARMACEUTICAL INC NOTE 0.599% 8/0 09061GAH4 53615 53000 PRN DFND 1.0 0 0 53000 BLACKROCK CORPOR HI YLD FD I COM 09255P107 165514 18981 SH SOLE 0 0 18981 BNY MELLON ETF TRUST HIGH YIELD BETA 09661T800 1118974 23622 SH SOLE 0 0 23622 BROADCOM INC COM 11135F101 910345 1419 SH DFND 1.0 0 0 1419 BURLINGTON STORES INC NOTE 2.250% 4/1 122017AB2 34529 30000 PRN DFND 1.0 0 0 30000 CBRE GBL REAL ESTATE INC FD RIGHT 04/06/2023 12504G118 762 24670 SH SOLE 0 0 24670 CABLE ONE INC NOTE 1.125% 3/1 12685JAG0 33115 45000 PRN SOLE 0 0 45000 CAMECO CORP COM 13321L108 725461 27721 SH SOLE 0 0 27721 CHEESECAKE FACTORY INC NOTE 0.375% 6/1 163072AA9 35933 43000 PRN DFND 1.0 0 0 43000 CHENIERE ENERGY INC COM NEW 16411R208 530590 3367 SH DFND 1.0 0 0 3367 CISCO SYS INC COM 17275R102 371789 7112 SH SOLE 0 0 7112 CLOUDFLARE INC CL A COM 18915M107 281170 4560 SH SOLE 0 0 4560 CONMED CORP NOTE 2.625% 2/0 207410AF8 37082 30000 PRN SOLE 0 0 30000 CONOCOPHILLIPS COM 20825C104 240981 2429 SH DFND 1.0 0 0 2429 COSTCO WHSL CORP NEW COM 22160K105 2080776 4188 SH SOLE 0 0 4188 DEVON ENERGY CORP NEW COM 25179M103 214701 4242 SH SOLE 0 0 4242 DEXCOM INC NOTE 0.250%11/1 252131AK3 40343 38000 PRN DFND 1.0 0 0 38000 DIMENSIONAL ETF TRUST US TARGETED VLU 25434V609 424530 9540 SH SOLE 0 0 9540 DIMENSIONAL ETF TRUST US CORE EQUITY 2 25434V708 315672 12389 SH SOLE 0 0 12389 DIMENSIONAL ETF TRUST US MKTWIDE VALUE 25434V724 806567 24091 SH SOLE 0 0 24091 DRAFTKINGS INC NEW COM CL A 26142V105 428669 22142 SH SOLE 0 0 22142 DUKE ENERGY CORP NEW COM NEW 26441C204 260117 2696 SH SOLE 0 0 2696 EQT CORP NOTE 1.750% 5/0 26884LAK5 45890 21000 PRN SOLE 0 0 21000 ENPHASE ENERGY INC NOTE 3/0 29355AAH0 38385 37000 PRN DFND 1.0 0 0 37000 ENVESTNET INC NOTE 1.750% 6/0 29404KAB2 37656 37000 PRN SOLE 0 0 37000 ETSY INC NOTE 0.125%10/0 29786AAJ5 32914 23000 PRN DFND 1.0 0 0 23000 EVERBRIDGE INC NOTE 0.125%12/1 29978AAC8 12747 14000 PRN SOLE 0 0 14000 EXACT SCIENCES CORP NOTE 0.375% 3/0 30063PAC9 27307 31000 PRN DFND 1.0 0 0 31000 EXXON MOBIL CORP COM 30231G102 616161 5619 SH SOLE 0 0 5619 META PLATFORMS INC CL A 30303M102 3023536 14266 SH DFND 1.0 0 0 14266 FIRST MAJESTIC SILVER CORP COM 32076V103 79310 11000 SH SOLE 0 0 11000 FIRST TR EXCHANGE-TRADED FD DORSEY WRT 5 ETF 33738R605 233295 5175 SH SOLE 0 0 5175 FIRST TR EXCH TRADED FD III LNG/SHT EQUITY 33739P103 209236 4118 SH SOLE 0 0 4118 FIRST TR EXCHANGE-TRADED FD FIRST TR ENH NEW 33739Q408 7323745 123067 SH SOLE 0 0 123067 FORD MTR CO DEL NOTE 3/1 345370CZ1 38728 39000 PRN SOLE 0 0 39000 GABELLI UTIL TR COM 36240A101 622694 87090 SH SOLE 0 0 87090 GENERAL MTRS CO COM 37045V100 223241 6086 SH SOLE 0 0 6086 GSK PLC SPONSORED ADR 37733W204 244322 6867 SH DFND 1.0 0 0 6867 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 195098 11376 SH SOLE 0 0 11376 GLOBAL X FDS US PFD ETF 37954Y657 263483 13267 SH SOLE 0 0 13267 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 311691 4905 SH SOLE 0 0 4905 GLOBAL SELF STORAGE INC COM 37955N106 56283 10950 SH SOLE 0 0 10950 GOLDMAN SACHS GROUP INC COM 38141G104 535352 1637 SH DFND 1.0 0 0 1637 GREENLIGHT CAP RE LTD NOTE 4.000% 8/0 395366AB3 9650 10000 PRN SOLE 0 0 10000 HELIX ENERGY SOLUTIONS GRP I NOTE 6.750% 2/1 42330PAK3 48686 36000 PRN SOLE 0 0 36000 HOPE BANCORP INC NOTE 2.000% 5/1 43940TAB5 29025 30000 PRN SOLE 0 0 30000 INSEEGO CORP NOTE 3.250% 5/0 45782BAD6 11588 20000 PRN SOLE 0 0 20000 INNOVATOR ETFS TR US EQT ULTRA BF 45782C672 720673 26647 SH SOLE 0 0 26647 INNOVATOR ETFS TR US EQT ULTRA BF 45782C730 618726 22442 SH SOLE 0 0 22442 INNOVATOR ETFS TR GRWT ACLRTD PLUS 45783Y871 312358 13234 SH SOLE 0 0 13234 INTEGRA LIFESCIENCES HLDGS C NOTE 0.500% 8/1 457985AM1 35857 37000 PRN SOLE 0 0 37000 INVESCO ACTVELY MNGD ETC FD OPTIMUM YIELD 46090F100 218419 15360 SH SOLE 0 0 15360 INTUITIVE SURGICAL INC COM NEW 46120E602 1625811 6364 SH DFND 1.0 0 0 6364 INVESCO SR INCOME TR COM 46131H107 38640 10500 SH SOLE 0 0 10500 INVESCO EXCHANGE TRADED FD T S&P MDCP400 VL 46137V191 787521 8353 SH SOLE 0 0 8353 INVESCO EXCHANGE TRADED FD T S&P 500 TOP 50 46137V233 285678 920 SH SOLE 0 0 920 INVESCO EXCHANGE TRADED FD T ZACKS MULT AST 46137Y500 230059 10914 SH SOLE 0 0 10914 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 256838 4116 SH SOLE 0 0 4116 INVESCO EXCH TRADED FD TR II S&P SMALLCAP 600 46138G664 202928 1809 SH SOLE 0 0 1809 INVESCO EXCH TRADED FD TR II S&P MDCP 400 REV 46138G672 206795 2282 SH SOLE 0 0 2282 INVESCO EXCH TRADED FD TR II S&P 500 REVENUE 46138G698 305542 4015 SH SOLE 0 0 4015 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 HY 46138J858 207449 8807 SH SOLE 0 0 8807 IONIS PHARMACEUTICALS INC NOTE 4/0 462222AD2 18235 20000 PRN DFND 1.0 0 0 20000 IRONNET INC COM 46323Q105 10759 30600 SH SOLE 0 0 30600 ISHARES SILVER TR ISHARES 46428Q109 345337 15612 SH SOLE 0 0 15612 ISHARES TR FLTG RATE NT ETF 46429B655 200905 3987 SH SOLE 0 0 3987 ISHARES TR 0-5 YR TIPS ETF 46429B747 223664 2254 SH SOLE 0 0 2254 ISHARES TR CORE DIV GRWTH 46434V621 361925 7240 SH SOLE 0 0 7240 ISHARES TR TRS FLT RT BD 46434V860 467958 9250 SH SOLE 0 0 9250 ISHARES TR BLACKROCK ULTRA 46434V878 659280 13120 SH SOLE 0 0 13120 ISHARES TR CONV BD ETF 46435G102 254118 3499 SH SOLE 0 0 3499 ISHARES TR CORE INTL AGGR 46435G672 274512 5608 SH SOLE 0 0 5608 ISHARES TR US INFRASTRUC 46435U713 461561 12368 SH SOLE 0 0 12368 ISHARES TR 0-3 MNTH TREASRY 46436E718 397090 3948 SH SOLE 0 0 3948 JPMORGAN CHASE & CO COM 46625H100 862601 6620 SH SOLE 0 0 6620 J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 46641Q332 2077792 38055 SH SOLE 0 0 38055 J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 46641Q837 567492 11278 SH SOLE 0 0 11278 LIBERTY MEDIA CORP DEL NOTE 1.375%10/1 531229AB8 26987 25000 PRN SOLE 0 0 25000 LITHIUM AMERS CORP NEW COM NEW 53680Q207 761012 34973 SH SOLE 0 0 34973 LUMENTUM HLDGS INC NOTE 0.500%12/1 55024UAD1 32960 38000 PRN SOLE 0 0 38000 MFA FINL INC NOTE 6.250% 6/1 55272XAA0 19005 20000 PRN SOLE 0 0 20000 MGP INGREDIENTS INC NEW NOTE 1.875%11/1 55303JAB2 35126 30000 PRN SOLE 0 0 30000 MSCI INC COM 55354G100 952302 1701 SH DFND 1.0 0 0 1701 MAIN STR CAP CORP COM 56035L104 622271 15770 SH SOLE 0 0 15770 MASTERCARD INCORPORATED CL A 57636Q104 2620587 7211 SH SOLE 0 0 7211 MCKESSON CORP COM 58155Q103 593574 1667 SH SOLE 0 0 1667 MEDICAL PPTYS TRUST INC COM 58463J304 89307 10865 SH SOLE 0 0 10865 MERCK & CO INC COM 58933Y105 523215 4918 SH DFND 1.0 0 0 4918 MICROCHIP TECHNOLOGY INC. NOTE 0.125%11/1 595017AU8 41440 37000 PRN SOLE 0 0 37000 HELLO GROUP INC NOTE 1.250% 7/0 60879BAB3 19711 20000 PRN SOLE 0 0 20000 MONSTER BEVERAGE CORP NEW COM 61174X109 241749 4476 SH SOLE 0 0 4476 MOSAIC CO NEW COM 61945C103 366797 7995 SH SOLE 0 0 7995 NRG ENERGY INC DBCV 2.750% 6/0 629377CG5 38236 37000 PRN SOLE 0 0 37000 NETFLIX INC COM 64110L106 886847 2567 SH DFND 1.0 0 0 2567 RITHM CAPITAL CORP COM NEW 64828T201 120579 15072 SH DFND 1.0 0 0 15072 NEXTERA ENERGY INC COM 65339F101 251779 3266 SH DFND 1.0 0 0 3266 NICE LTD NOTE 9/1 653656AB4 57863 60000 PRN DFND 1.0 0 0 60000 NUVEEN ARIZONA QLTY MUN INC COM 67061W104 141759 12545 SH SOLE 0 0 12545 NVIDIA CORPORATION COM 67066G104 12208152 43951 SH SOLE 0 0 43951 NUVASIVE INC NOTE 0.375% 3/1 670704AJ4 32780 37000 PRN DFND 1.0 0 0 37000 OFS CREDIT COMPANY INC COM 67111Q107 450800 49000 SH SOLE 0 0 49000 OMEROS CORP NOTE 6.250%11/1 682143AE2 14760 15000 PRN SOLE 0 0 15000 ONCTERNAL THERAPEUTICS INC COM 68236P107 13738 17500 SH SOLE 0 0 17500 PALO ALTO NETWORKS INC NOTE 0.375% 6/0 697435AF2 46399 23000 PRN SOLE 0 0 23000 PARATEK PHARMACEUTICALS INC NOTE 4.750% 5/0 699374AB0 18244 25000 PRN SOLE 0 0 25000 PATRICK INDS INC NOTE 1.750%12/0 703343AG8 41540 46000 PRN SOLE 0 0 46000 PEBBLEBROOK HOTEL TR NOTE 1.750%12/1 70509VAA8 31965 38000 PRN DFND 1.0 0 0 38000 PIONEER NAT RES CO NOTE 0.250% 5/1 723787AP2 64067 30000 PRN SOLE 0 0 30000 PROSHARES TR PSHS ULT S&P 500 74347R107 226753 4517 SH SOLE 0 0 4517 QUEST DIAGNOSTICS INC COM 74834L100 287487 2032 SH SOLE 0 0 2032 RAYTHEON TECHNOLOGIES CORP COM 75513E101 953272 9734 SH DFND 1.0 0 0 9734 REGENERON PHARMACEUTICALS COM 75886F107 2230834 2715 SH DFND 1.0 0 0 2715 RINGCENTRAL INC NOTE 3/0 76680RAF4 32622 37000 PRN DFND 1.0 0 0 37000 ROYAL CARIBBEAN GROUP NOTE 4.250% 6/1 780153BB7 30354 30000 PRN SOLE 0 0 30000 S&P GLOBAL INC COM 78409V104 561075 1627 SH DFND 1.0 0 0 1627 SPDR S&P 500 ETF TR TR UNIT 78462F103 6976638 17042 SH SOLE 0 0 17042 SPDR GOLD TR GOLD SHS 78463V107 2747567 14996 SH SOLE 0 0 14996 SPDR INDEX SHS FDS PORTFLO EURP ETF 78463X103 395702 10405 SH SOLE 0 0 10405 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 287716 8430 SH SOLE 0 0 8430 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 1227048 38202 SH SOLE 0 0 38202 SPDR SER TR BLOOMBERG INTL 78464A151 987570 34603 SH SOLE 0 0 34603 SPDR SER TR BLOOMBERG EMERGI 78464A391 232656 10964 SH SOLE 0 0 10964 SPDR SER TR AEROSPACE DEF 78464A631 620686 5309 SH SOLE 0 0 5309 SPDR SER TR PORTFOLIO AGRGTE 78464A649 539501 20919 SH SOLE 0 0 20919 SPDR SER TR PORTFOLIO LN TSR 78464A664 235491 7626 SH SOLE 0 0 7626 SPDR SER TR PORTFLI INTRMDIT 78464A672 235398 8134 SH SOLE 0 0 8134 SPDR SER TR S&P BIOTECH 78464A870 644965 8463 SH SOLE 0 0 8463 SSGA ACTIVE ETF TR MULT ASS RLRTN 78467V103 205974 7468 SH SOLE 0 0 7468 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 1000090 3007 SH SOLE 0 0 3007 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 5116386 11161 SH SOLE 0 0 11161 SPDR SER TR PORTFLI HIGH YLD 78468R606 214794 9347 SH SOLE 0 0 9347 SPDR SER TR BLOOMBERG 1-3 MO 78468R663 1182462 12878 SH SOLE 0 0 12878 SPDR SER TR NUVEEN BLMBRG SH 78468R739 514730 10825 SH SOLE 0 0 10825 SPDR SER TR PORTFOLIO S&P600 78468R853 350694 9285 SH SOLE 0 0 9285 SPDR SER TR BLOOMBERG 1 10 Y 78468R861 319875 16809 SH SOLE 0 0 16809 SSGA ACTIVE TR SPDR SSGA US SCT 78470P408 854151 21274 SH SOLE 0 0 21274 SSGA ACTIVE TR SPDR SSGA FXD 78470P507 1300629 49341 SH SOLE 0 0 49341 SALESFORCE INC COM 79466L302 218759 1095 SH DFND 1.0 0 0 1095 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1312692 16274 SH SOLE 0 0 16274 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 616470 4762 SH SOLE 0 0 4762 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 700443 9375 SH SOLE 0 0 9375 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 583742 3904 SH SOLE 0 0 3904 SELECT SECTOR SPDR TR ENERGY 81369Y506 576269 6957 SH SOLE 0 0 6957 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 842489 26205 SH SOLE 0 0 26205 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 313213 3096 SH SOLE 0 0 3096 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1543004 10218 SH SOLE 0 0 10218 SHIFT4 PMTS INC NOTE 12/1 82452JAB5 38128 33000 PRN SOLE 0 0 33000 SHOCKWAVE MED INC COM 82489T104 537305 2478 SH DFND 1.0 0 0 2478 SILICON LABORATORIES INC NOTE 0.625% 6/1 826919AD4 46723 31000 PRN DFND 1.0 0 0 31000 SNAP INC NOTE 0.750% 8/0 83304AAB2 12776 14000 PRN DFND 1.0 0 0 14000 SOUTHERN COPPER CORP COM 84265V105 1604725 21046 SH SOLE 0 0 21046 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 39757 35000 PRN SOLE 0 0 35000 SPIRIT AIRLS INC NOTE 1.000% 5/1 848577AB8 18742 23000 PRN SOLE 0 0 23000 SPLUNK INC NOTE 1.125% 9/1 848637AD6 22097 23000 PRN DFND 1.0 0 0 23000 BLOCK INC NOTE 0.125% 3/0 852234AF0 20100 21000 PRN DFND 1.0 0 0 21000 STRATEGY SHS NS 7HANDL IDX 86280R506 1507204 74503 SH SOLE 0 0 74503 TARGET CORP COM 87612E106 359827 2172 SH SOLE 0 0 2172 TELADOC HEALTH INC NOTE 1.250% 6/0 87918AAF2 29181 38000 PRN DFND 1.0 0 0 38000 TESLA INC COM 88160R101 30548900 147252 SH DFND 1.0 0 0 147252 TILRAY BRANDS INC NOTE 5.000%10/0 88688TAB6 19670 20000 PRN SOLE 0 0 20000 ULTA BEAUTY INC COM 90384S303 550581 1009 SH DFND 1.0 0 0 1009 UNITEDHEALTH GROUP INC COM 91324P102 550580 1165 SH DFND 1.0 0 0 1165 UNIVERSAL DISPLAY CORP COM 91347P105 1538115 9915 SH DFND 1.0 0 0 9915 VAIL RESORTS INC NOTE 1/0 91879QAN9 38404 43000 PRN DFND 1.0 0 0 43000 VANECK ETF TRUST JP MRGAN EM LOC 92189H300 251531 9962 SH SOLE 0 0 9962 VANGUARD WORLD FDS UTILITIES ETF 92204A876 558421 3785 SH SOLE 0 0 3785 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 852705 14566 SH SOLE 0 0 14566 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 243555 3195 SH SOLE 0 0 3195 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 212357 2647 SH SOLE 0 0 2647 VENTAS INC COM 92276F100 444424 10252 SH DFND 1.0 0 0 10252 VERIZON COMMUNICATIONS INC COM 92343V104 1105499 28426 SH SOLE 0 0 28426 VERISK ANALYTICS INC COM 92345Y106 332021 1731 SH DFND 1.0 0 0 1731 VIAVI SOLUTIONS INC NOTE 1.000% 3/0 925550AB1 16219 16000 PRN DFND 1.0 0 0 16000 VISA INC COM CL A 92826C839 1868158 8286 SH DFND 1.0 0 0 8286 WESTERN ASSET MORTGAGE CAPIT NOTE 6.750% 9/1 95790DAD7 21613 25000 PRN SOLE 0 0 25000 WESTERN DIGITAL CORP. NOTE 1.500% 2/0 958102AP0 29885 31000 PRN SOLE 0 0 31000 WISDOMTREE TR ITL HIGH DIV FD 97717W802 217699 5782 SH SOLE 0 0 5782 WOLFSPEED INC NOTE 0.250% 2/1 977852AB8 38318 46000 PRN DFND 1.0 0 0 46000 ZILLOW GROUP INC NOTE 2.750% 5/1 98954MAH4 35781 35000 PRN SOLE 0 0 35000 AMBARELLA INC SHS G037AX101 482946 6238 SH SOLE 0 0 6238 EATON CORP PLC SHS G29183103 205779 1201 SH DFND 1.0 0 0 1201 GOLDEN OCEAN GROUP LTD SHS NEW G39637205 130978 13758 SH SOLE 0 0 13758 MEDTRONIC PLC SHS G5960L103 205227 2546 SH DFND 1.0 0 0 2546 ASML HOLDING N V N Y REGISTRY SHS N07059210 2310821 3395 SH SOLE 0 0 3395